0001970051-24-000034.txt : 20240425 0001970051-24-000034.hdr.sgml : 20240425 20240425101504 ACCESSION NUMBER: 0001970051-24-000034 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240425 DATE AS OF CHANGE: 20240425 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Transphorm, Inc. CENTRAL INDEX KEY: 0001715768 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 821858829 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 24873508 BUSINESS ADDRESS: STREET 1: 75 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 BUSINESS PHONE: 805-456-1300 MAIL ADDRESS: STREET 1: 75 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 FORMER COMPANY: FORMER CONFORMED NAME: Peninsula Acquisition Corp DATE OF NAME CHANGE: 20170829 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Smales Kelly CENTRAL INDEX KEY: 0001862728 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 75 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 144 1 primary_doc.xml 144 0001862728 XXXXXXXX LIVE 0001715768 Transphorm, Inc. 001-41295 75 CASTILIAN DRIVE GOLETA CA 93117 805-456-1300 Smales Kelly BOD COMMON STOCK MAXIM GROUP

300 PARK AVE, 16TH FLOOR NEW YORK NY 10022

475 2278.73 61960000 04/24/2024 NASDAQ Common Stock 10/11/2023 Common Stock TRANSPHORM, INC. N 475 10/11/2023 COMPENSATORY PAYMENT N Kelly Smales

75 CASTILIAN DRIVE GOLETA CA 93117

Common Stock 02/28/2024 3996 19222.76 Kelly Smales

75 CASTILIAN DRIVE GOLETA CA 93117

Common Stock 04/04/2024 766 3753.40 04/24/2024 08/17/2023 KELLY SMALES